preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017
preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017
on related party transaction. Audit committee shall have independence as basic qualifications as required by the SET notification, meaning that audit committee shall be independent director. Q: Can
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
compliance with all relevant and applicable law and standards. (4) Review internal auditor’s independence, and approve the appointment and termination of the head of the internal audit function. Outsourcing
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
independence. 3.2.6 The board should appoint relevant committees to review specific matters, to screen information, and to recommend action for board approval; however, the board remains accountable for all
Exchange Act (SEA), which prescribes international standard structure, transparency and independence of the SEC Board by separating the roles and responsibilities of Chairman from those of Secretary-General
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the